Public Meetings and Roundtables

The Commodity Futures Trading Commission is in the process of implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act. Under Dodd-Frank, in August 2010, the Commission began issuing proposed rules and soliciting public comment. The CFTC began finalizing its Dodd-Frank rules in July 2011. The finalization process is ongoing.

View Dodd-Frank Proposed Rules
View Dodd-Frank Final Rules

The CFTC has held 34 open meetings and 26 public roundtables during its implementation of the Dodd-Frank Act.

Dodd-Frank Public Meetings

Date	Public Meeting	Proposed Actions	Final Actions
12/16/2015	Thirty Fourth Meeting	Federal Register: 17 CFR Parts 37, 38 and 49, System Safeguards Testing Requirements Federal Register: 17 CFR Part 39, System Safeguards Testing Requirements for Derivatives Clearing Organizations	Federal Register: 17 CFR Parts 23 and 140, Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap
11/24/2015	Thirty Third Meeting	80 FR 78824: 17 CFR Parts 1, 38, 40, and 170, Regulation Automated Trading
09/17/2014	Thirty Second Meeting	79 FR 59898: 17 CFR Parts 23 and 140 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants	79 FR 57767: 17 CFR Part 1 Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis
11/05/2013	Thirty First Meeting	78 FR 75680: 17 CFR Parts 1, 15, 17, 19, 32, 37, 38, 140, and 150 Position Limits for Derivatives 78 FR 68946: 17 CFR Part 150 Aggregation of Positions
07/12/2013	Thirtieth Meeting		78 FR 43785: 17 CFR Chapter I Exemptive Order Regarding Compliance with Certain Swap Regulations 78 FR 45292: 17 CFR Chapter I Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations
05/16/2013	Twenty-Ninth Meeting		78 FR 32866: 17 CFR Part 43 Procedures to Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades 78 FR 33476: 17 CFR Part 37 Core Principles and Other Requirements for Swap Execution Facilities 78 FR 36606: 17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act 78 FR 31890: Anti-disruptive Practices Authority
07/10/2012	Twenty-Eighth Meeting	77 FR 41940: 17 CFR Part 39 Clearing Exemption for Certain Swaps Entered into by Cooperatives	77 FR 42559: 17 CFR Part 39 End-User Exception to the Clearing Requirement for Swaps 77 FR 48207: 17 CFR Parts 230, 240 and 241 Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
05/10/2012	Twenty-Seventh Meeting		77 FR 36611: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Market
04/18/2012	Twenty-Sixth Meeting		77 FR 30596: 17 CFR Part 240 Further Definition of ``Swap Dealer,'' ``Security-Based Swap Dealer,'' ``Major Swap Participant,'' ``Major Security-Based Swap Participant'' and ``Eligible Contract Participant'' 77 FR 25320: 17 CFR Parts 3, 32, and 33 Final and Interim Final Rulemaking Regarding Commodity Options
03/20/2012	Twenty-Fifth Meeting		77 FR 21278: 17 CFR Parts 1, 23, 37, 38, and 39 Customer Clearing Documentation, Timing of Acceptance for Clearing, and Clearing Member Risk Management
02/23/2012	Twenty-Fourth Meeting	77 FR 15460: 17 CFR Part 43 Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades	77 FR 20128: 17 CFR Parts 1, 3, and 23 Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants
01/11/2012	Twenty-Third Meeting	77 FR 8332: 17 CFR Part 75 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Covered Funds	77 FR 2708: Performance of Registration Functions by National Futures Association With Respect to Swap Dealers and Major Swap Participants 77 FR 6336: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions 77 FR 9734: 17 CFR Parts 4 and 23 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties 77 FR 2613: 17 CFR Parts 1, 3, 23, and 170 Registration of Swap Dealers and Major Swap Participants
12/20/2011	Twenty-Second Meeting		77 FR 1182: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data 77 FR 2136: 17 CFR Part 45 Swap Data Recordkeeping and Reporting Requirements 76 FR 42508: 17 CFR Chapter 1 Effective Date for Swap Regulation
12/05/2011	Twenty-First Meeting	76 FR 77728: 17 CFR Parts 37 and 38 Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade	76 FR 78776: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions 76 FR 80674: 17 CFR Part 48 Registration of Foreign Boards of Trade
10/18/2011	Twentieth Meeting	76 FR 65999: 17 CFR Chapter 1 Effective Date for Swap Regulation	76 FR 69334: 17 CFR Parts 1, 21, 39, and 140 Derivatives Clearing Organization General Provisions and Core Principles 76 FR 71626: 17 CFR Parts 1, 150 and 151 Position Limits for Futures and Swaps
09/08/2011	Nineteenth Meeting	76 FR 58176: 17 CFR Part 23 Swap Transaction Compliance and Implementation Schedule: Trading Documentation and Margining Requirements Under Section 4s of the CEA 76 FR 58186: 17 CFR Parts 37, 38, and 39 Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA
08/04/2011	Eighteenth Meeting		76 FR 49291: 17 CFR Part 35 Agricultural Swaps 76 FR 54538: 17 CFR Part 49 Swap Data Repositories: Registration Standards, Duties and Core Principles 76 FR 53172: 17 CFR Part 165 Whistleblower Incentives and Protection
07/19/2011	Seventeenth Meeting	76 FR 45730: 17 CFR Parts 1, 23, and 39 Customer Clearing Documentation and Timing of Acceptance for Clearing 76 FR 45724: 17 CFR Parts 1 and 23 Clearing Member Risk Management	76 FR 44776: 17 CFR Part 40 Provisions Common to Registered Entities 76 FR 44464: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing 76 FR 44262: 17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings
07/07/2011	Sixteenth Meeting		76 FR 41398: 17 CFR Part 180 Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices and Prohibition on Price Manipulation 76 FR 41048: 17 CFR Part 1 Agricultural Commodity Definition 76 FR 43879: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules 76 FR 43874: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act 76 FR 43851: 17 CFR Parts 15 and 20 Large Trader Reporting for Physical Commodity Swaps Large Trader Reporting for Physical Commodity Swaps
06/14/2011	Fifteenth Meeting	76 FR 35372: 17 CFR Chapter 1 Effective Date for Swap Regulation
04/27/2011	Fourteenth Meeting	76 FR 33066: 17 CFR Parts 1, 5, 7, 8, 15, 18, 21, 36, 41, 140, 145, 155, and 166 Adaptation of Regulations to Incorporate Swaps 76 FR 33818: 17 CFR Parts 22 and 190 Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions 76 FR 27802: 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap Participants 76 FR 29818: 17 CFR Part 240 Further Definition of ‘‘Swap,’’ ‘‘Security-Based Swap,’’ and ‘‘Security-Based Swap Agreement’’; Mixed Swaps; Security-Based Swap Agreement Recordkeeping	76 FR 27621: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
04/12/2011	Thirteenth Meeting	76 FR 23732: 17 CFR Part 23 Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
02/24/2011	Twelfth Meeting	76 FR 11701: 17 CFR Part 4 Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act 76 FR 13101: 17 CFR Parts 23, 37, 38, and 39 Requirements for Processing, Clearing, and Transfer of Customer Positions 76 FR 12888: 17 CFR Part 3 Registration of Intermediaries 76 FR 14943: Antidisruptive Practices Authority, Proposed Interpretive Order 76 FR 14826: 17 CFR Chapter I Antidisruptive Practices Authority
01/26/2011	Eleventh Meeting	76 FR 8068: 17 CFR Part 4 Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF 76 FR 7976: 17 CFR Parts 4, 145, and 147 Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
01/20/2011	Tenth Meeting	76 FR 6095: 17 CFR Parts 3, 32, 33, and 35 Commodity Options and Agricultural Swaps 76 FR 6708: 17 CFR Part 23 Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
01/13/2011	Ninth Meeting	76 FR 4752: 17 CFR Parts 1, 150 and 151 Position Limits for Derivatives 76 FR 6715: 17 CFR Part 23 Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
12/16/2010	Eighth Meeting	76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest 75 FR 81519: 17 CFR Part 23 Confirmation, Portfolio Reconciliation, and Portfolio Compression Requirements for Swap Dealers and Major Swap Participants 76 FR 3698: 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations (Correction) 76 FR 16588: 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations (Reopening of Comment Period) 76 FR 16587: 17 CFR Part 39 Risk Management Requirements for Derivatives Clearing Organizations 76 FR 4752: 17 CFR Parts 1, 150 and 151; Position Limits for Derivatives
12/09/2010	Seventh Meeting	75 FR 80747: 17 CFR Part 39 End-User Exception to Mandatory Clearing of Swaps 76 FR 722: 17 CFR Parts 1, 37, 38, 39, and 40 Governance Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities; Additional Requirements Regarding the Mitigation of Conflicts of Interest 75 FR 80638: 17 CFR Parts 23 and 155 Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties; Proposed Rule	75 FR 78892: 17 CFR Part 44 Reporting Certain Post-Enactment Swap Transactions
12/01/2010	Sixth Meeting	75 FR 76666; 17 CFR Part 23 Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants 75 FR 80572: 17 CFR Parts 1, 16, and 38 Core Principles and Other Requirements for Designated Contract Markets 75 FR 77576: 17 CFR Parts 1 and 39 General Regulations and Derivatives Clearing Organizations 75 FR 80174: 17 CFR Part 240 Further Definition of ‘‘Swap Dealer,’’ "Security-Based Swap Dealer,’’ ‘‘Major Swap Participant,’’ ‘‘Major Security- Based Swap Participant’’ and ‘‘Eligible Contract Participant’’
11/19/2010	Fifth Meeting	75 FR 75162: 17 CFR Part 190 Protection of Cleared Swaps Customers Before and After Commodity Broker Bankruptcies 75 FR 75432: 17 CFR Parts 23 and 190 Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy 75 FR 76140: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data 75 FR 76930: 17 CFR Part 43 Real-Time Public Reporting of Swap Transaction Data (Correction) 75 FR 80898: 17 CFR Part 49 Swap Data Repositories
11/10/2010	Fourth Meeting	75 FR 70974: 17 CFR Part 48 Registration of Foreign Boards of Trade 75 FR 70881: 17 CFR Part 3 Designation of a Chief Compliance Officer; Required Compliance Policies; and Annual Report of a Futures Commission Merchant, Swap Dealer, or Major Swap Participant 75 FR 71397: 17 CFR Part 23 Regulations Establishing and Governing the Duties of Swap Dealers and Major Swap Participants 75 FR 71391: 17 CFR Part 23 Implementation of Conflicts of Interest Policies and Procedures by Swap Dealers and Major Swap Participants 75 FR 71379: 17 CFR Parts 3, 23 and 170 Registration of Swap Dealers and Major Swap Participants 75 FR 75728: 17 CFR Part 165 Implementing the Whistleblower Provisions of Section 23 of the Commodity Exchange Act
10/26/2010	Third Meeting	75 FR 67301: 17 CFR Chapter I Antidisruptive Practices Authority Contained in the Dodd-Frank Wall Street Reform and Consumer Protection Act 75 FR 67657: 17 CFR Part 180 Prohibition of Market Manipulation 75 FR 67277: 17 CFR Parts 39 and 140 Process for Review of Swaps for Mandatory Clearing 75 FR 67254: 17 CFR Parts 1 and 4 Removing Any Reference to or Reliance on Credit Ratings in Commission Regulations; Proposing Alternatives to the Use of Credit Ratings 75 FR 67642: 17 CFR Parts 1 and 30 Investment of Customer Funds and Funds Held in an Account for Foreign Futures and Foreign Options Transactions 75 FR 67282: 17 CFR Part 40 Provisions Common to Registered Entities
10/19/2010	Second Meeting	75 FR 59666: 17 CFR Part 35 Agricultural Swaps 75 FR 65586: 17 CFR Part 1 Agricultural Commodity Definition 75 FR 66018: 17 CFR Part 162 Business Affiliate Marketing and Disposal of Consumer Information Rules 75 FR 66014: 17 CFR Part 160 Privacy of Consumer Financial Information; Conforming Amendments Under Dodd-Frank Act
10/01/2010	First Meeting	75 FR 63732: 17 CFR Parts 1, 37, 38, 39, and 40 Requirements for Derivatives Clearing Organizations, Designated Contract Markets, and Swap Execution Facilities Regarding the Mitigation of Conflicts of Interest 75 FR 63113: 17 CFR Parts 39 and 140 Financial Resources Requirements for Derivatives Clearing Organizations	75 FR 63080: 17 CFR Part 44 Interim Final Rule for Reporting Pre-Enactment Swap Transactions

Dodd-Frank Public Roundtables

Date	Dodd-Frank Public Roundtables
07/15/2015	CFTC’s Division of Market Oversight to Host Public Roundtable Regarding the Made Available to Trade Process
03/05/2015	CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of Derivatives Clearing Organizations
06/19/2014	CFTC Staff to Host Public Roundtable June 19, 2014 Regarding Position Limits for Physical Commodity Derivatives
04/03/2014	CFTC Staff to Host Public Roundtable to Discuss Dodd-Frank End-User Issues
02/05/2013	CFTC Staff to Host a Public Roundtable to Discuss Proposed Rulemaking Enhancing Protections Afforded Customers and Funds Deposited by Customers
01/31/2013	CFTC Staff to Host Public Roundtable to Discuss the "Futurization of Swaps"
08/09/2012	CFTC Staff to Host a Public Roundtable to Discuss Additional Customer Protections
06/05/2012	CFTC Staff to Host a Public Roundtable to Discuss Proposed Regulations Implementing Core Principle 9 for Designated Contract Markets
05/31/2012	CFTC Staff to Host a Public Roundtable to Discuss the Proposed Volcker Rule
03/01/2012	Day 2: CFTC Staff Public Roundtable to Discuss Additional Customer Collateral Protections
02/29/2012	Day 1: CFTC Staff Public Roundtable to Discuss Additional Customer Collateral Protections
01/30/2012	“Available to Trade” Provision for Swap Execution Facilities and Designated Contract Markets
08/01/2011	International Issues relating to the Implementation of Title VII of the Dodd-Frank Act (CFTC and SEC)
07/06/2011	Proposed Changes to Registration and Compliance Regime for Commodity Pool Operators and Commodity Trading Advisors
06/16/2011	Proposed Dealer and Major Participant Definitions under Dodd-Frank Act (CFTC and SEC)
06/08/2011	Swap Data Recordkeeping and Reporting Requirements
06/03/2011	Protection of Cleared Swaps Customer Collateral
05/03/2011	Day 2: Discussion on Dodd-Frank Implementation (CFTC and SEC)
05/02/2011	Day 1: Discussion on Dodd-Frank Implementation (CFTC and SEC)
01/28/2011	Swap Data Recordkeeping and Reporting Requirements
12/10/2010	Capital and Margin for Swaps and Security-Based Swaps (CFTC and SEC)
12/02/2010	Disruptive Trading Practices
10/22/2010	Customer Collateral Protection
10/22/2010	Credit Default Swaps (CFTC and SEC)
09/15/2010	Swap Execution Facilities and Security-Based Swap Execution Facilities (CFTC and SEC)
09/14/2010	Swap Data, Swap Data Repositories and Real Time Reporting (CFTC and SEC)
08/20/2010	Governance and Conflicts of Interest in the Clearing and Listing of Swaps (CFTC and SEC)